Where they hold approval
Firms where this individual holds — or has held — an FCA-approved role.
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Wesleyan Assurance Society
FRN 110873
- [FCA CF] Material risk taker (since 9 Dec 2020)
- [PRA CF] Key function holder (since 10 Dec 2018)
- CF28 Systems and controls (1 Nov 2007 to 9 Nov 2009)
- CF15 Internal Audit (6 Feb 2007 to 31 Oct 2007)
- CF14 Risk Assessment (6 Feb 2007 to 31 Oct 2007)
- CF11 Money Laundering Reporting (6 Feb 2007 to 9 Nov 2009)
- CF10 Compliance Oversight (6 Feb 2007 to 23 Jun 2015)
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WESLEYAN FINANCIAL SERVICES LIMITED
FRN 134753
- [FCA CF] Significant management (since 9 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 9 Nov 2009)
- CF10 Compliance Oversight (6 Feb 2007 to 23 Jun 2015)
- CF14 Risk Assessment (6 Feb 2007 to 31 Oct 2007)
- CF15 Internal Audit (6 Feb 2007 to 31 Oct 2007)
- CF11 Money Laundering Reporting (6 Feb 2007 to 9 Nov 2009)
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Wesleyan Unit Trust Managers Limited
FRN 175798
- [FCA CF] Significant management (since 9 Dec 2019)
- [FCA CF] Material risk taker (since 9 Dec 2019)
- CF28 Systems and controls (1 Nov 2007 to 9 Nov 2009)
- CF10 Compliance Oversight (6 Feb 2007 to 23 Jun 2015)
- CF11 Money Laundering Reporting (6 Feb 2007 to 9 Nov 2009)
- CF14 Risk Assessment (6 Feb 2007 to 31 Oct 2007)
- CF15 Internal Audit (6 Feb 2007 to 31 Oct 2007)
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- [FCA CF] Material risk taker (9 Dec 2020 to 28 Feb 2022)
- [FCA CF] Significant management (1 Jul 2018 to 28 Feb 2022)
- CF10 Compliance Oversight (9 Nov 2009 to 23 Jun 2015)
- CF28 Systems and controls (1 Nov 2007 to 9 Nov 2009)
- CF14 Risk Assessment (6 Feb 2007 to 31 Oct 2007)
- CF15 Internal Audit (6 Feb 2007 to 31 Oct 2007)
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- CF29 Significant management (3 Dec 2015 to 3 Dec 2015)
Recent activity
Updates to this individual's record on the FCA register.
No changes recorded yet.